DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

C•••••• A•••• M•••••••••

Former SEC-registered adviserSyracuse, New YorkCRD 147831SEC 801-69655IAPD
Legal name C•••••• A•••• M••••••••• L••
Latest filing Mar 29, 2016
First filing on the tape Mar 27, 2012 · 7 filings
RAUM
$31.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$3.4M gross assets
History
7 filings and snapshots on the tape
RAUM$31.7M as of Mar 29, 2016
Mar 27, 2012$23.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 27, 20120 then
Employees (5.A)0 as of Mar 29, 2016
Feb 6, 20130 then
Private funds1 as of Mar 29, 2016
Mar 27, 20121 then
RAUM -19% over the last fiscal year+5.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$7.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-19%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$31.7M, 4 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$31.7M for 4 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• F••• I• L••Other Private Fund$3.4M19Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• M••••••• H• · Chief Compliance Officercontrol
        since 04/2009 · owns less than 5%
      • L•••••••• D••••• W••••• · Trusteecontrol
        since 04/1997 · owns F of R••••• R• O••••••• I•••• T•••• D•• 0•••••••
      • R••••• A•••••• W•••••• · Trusteecontrol
        since 07/1998 · owns F of R••••• R• O••••••• I•••• T•••• D•• 0•••••••
      • R•••• R•••••• J••• · Partnercontrol
        since 04/2007 · owns 50% to 75% of E•• P•••• H•••••• C••••••• I•••
      Entity owners
      • E•• P•••• H•••••• C••••••• I••• · Managing Member
        direct · owns 50% to 75%
      • L••••••• I••••••••• H•••••••• I••• · Managing Member
        direct · owns 50% to 75%
      • R••••• R• O••••••• I•••• T•••• D•• 0••••••• · Owner
        indirect · owns 75% or more of L••••••• Investment Holdings
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• A•••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • The Plains, VA
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Mar 20, 2015 to Mar 29, 2016
      • Assets in custody · $39.0M to $31.7M
        Mar 20, 2015 to Mar 29, 2016
      • Discretionary RAUM · $39.0M to $31.7M
        Mar 20, 2015 to Mar 29, 2016
      • RAUM · $39.0M to $31.7M
        Mar 20, 2015 to Mar 29, 2016
      • Accounts · 4 to 5
        Mar 18, 2014 to Mar 20, 2015
      • Assets in custody · $750,000 to $39.0M
        Mar 18, 2014 to Mar 20, 2015
      • Discretionary RAUM · $37.7M to $39.0M
        Mar 18, 2014 to Mar 20, 2015
      • RAUM · $37.7M to $39.0M
        Mar 18, 2014 to Mar 20, 2015
      • Accounts · 3 to 4
        Feb 6, 2013 to Mar 18, 2014
      • Discretionary RAUM · $27.3M to $37.7M
        Feb 6, 2013 to Mar 18, 2014
      • RAUM · $27.3M to $37.7M
        Feb 6, 2013 to Mar 18, 2014
      • Advisory employees · unset to 0.0
        Aug 1, 2012 to Feb 6, 2013
      • Employees · unset to 0.0
        Aug 1, 2012 to Feb 6, 2013
      • Discretionary RAUM · $23.4M to $27.3M
        Aug 1, 2012 to Feb 6, 2013
      • RAUM · $23.4M to $27.3M
        Aug 1, 2012 to Feb 6, 2013
      • Assets in custody · unset to 750000.0
        May 1, 2012 to Aug 1, 2012
      • Custody of client assets · false to true
        May 1, 2012 to Aug 1, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026